Insights
February 17, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred McNally Financial Services Corporation representative Dennis Masaaki Nakamura from the securities industry based on his ref...
February 14, 2020
The Financial Industry Regulatory Authority (“FINRA”) has permanently barred Capital City Securities representative Clint H. Keneer from the securities industry based on his refusal to give testimony ...
February 13, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned NYLife Securities, LLC for supervisory failures related to sales of higher-risk mutual funds that were subject to signifi...
January 30, 2020
For the sixth consecutive year, Frankowski Firm attorney Robert Norton has been recognized by Super Lawyers magazine as a Rising Star in securities litigation in the Mid-South region. The Rising Star ...
January 9, 2020
The Financial Industry Regulatory Authority (“FINRA”) has barred former Janney Montgomery Scott and Morgan Stanley broker John Joseph Cahill based on FINRA’s findings that Cahill refused to cooperate ...
January 6, 2020
The Financial Industry Regulatory Authority (“FINRA”) has fined and sanctioned Oppenheimer & Co., Inc. for failure to supervise short-term UIT trading , a violation that harmed investors and viola...
December 30, 2019
The Financial Industry Regulatory Authority (“FINRA”) has barred former NYLIFE Securities broker Cristina Sabengsy based on FINRA’s findings that Sabengsy forged the signatures of two of her customers...
December 18, 2019
Investors in Benefit Street Partners Realty Trust, Inc., formerly known as Realty Finance Trust, may have a right to recover their investment losses if their Benefit Street investment was recommended ...
December 13, 2019
The Securities and Exchange Commission (“SEC”) has imposed a permanent ban against Securities America Advisors, Inc. representative Ronald James Roach, of Securities America Advisors’ Walnut Creek, Ca...
August 13, 2019
The Financial Industry Regulatory Authority (“FINRA”) has suspended broker Steve Baptist for 30 days and imposed a monetary sanction against him based on FINRA’s findings that Baptist placed six trade...
August 8, 2019
Robert H. Shapiro, the former CEO of the Woodbridge Group of Companies, pleaded guilty to running a $1.3 billion Ponzi scheme that defrauded over 7,000 investors. The Woodbridge Group of Companies has...
August 2, 2019
Hector May, the head of suburban New York registered investment advisory firm Executive Compensation Planners, has been sentenced to 13 years in prison and ordered to pay $8.4 million in restitution f...
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